FINRA

Chief of Staff

• Oversee or lead a variety of cross-functional initiatives and special projects to advance strategic priorities in support of organizational objectives
• Establish project scope and timeline, define measures of success, and manage the team(s) through successful completion of the initiative(s)
• Work closely with OCLO executive and senior leadership to oversee the effective, efficient, and timely implementation of OCLO core functions
• Create and maintain reports, project plans and metrics to support and inform executive and senior leadership oversight of OCLO
• Support development and implementation of OCLO’s organizational strategy, including staffing processes, talent development programs, compensation planning, and other organization-wide People Solutions initiatives and projects
• Monitor monthly, quarterly, and annual budgets pertaining to OCLO
• Develop and oversee a multi-faceted strategic communication program, in alignment with OCLO goals and key objectives, to facilitate information sharing and drive employee engagement
• Establish processes, procedures, standards, and key metrics for OCLO and identify opportunities for streamlining and improving operations
• Develop and maintain effective working relationships with all levels of management and routinely bring together multiple senior-level parties to drive decisions, resolve conflicts, and influence outcomes
• Understand, triage, and address a wide range of complex, and often novel matters, and adapt quickly to changing circumstances
• Contribute operational expertise to executive and senior leadership and serve as a key OCLO authority and liaison on projects and initiatives
• Lead and participate in cross-functional working groups and orchestrate and facilitate group events, including meeting agendas, logistics, and follow-up

Senior Director, Office of the Chief of Staff

Risk

• Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director
• Senior-level position reporting to a Risk Monitoring Director and supports that manager in identifying existing and emerging risks
• Conducts risk monitoring activities, including complex or elevated risk firms, with guidance and minimal supervision
• Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence
• Mentor and coach more junior level risk monitoring staff
• Serve in leadership roles related to special projects and technology initiatives
• Perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms
• Interact with internal and external parties as part of monitoring and assessments

Principal Analyst, Risk Monitoring – Capital Markets

Human Resources

• Provides expert level advice and counsel to senior business leaders on HR operations and functional strategy
• Leads the design, development and execution of HR operational programs including intake, governance, and service levels
• Manages multiple HR Operations teams including HR Shared Services operations and PMO
• Ensures alignment with corporate and HR strategy by establishing metrics to assess initiatives, programs, and projects
• Works cross-functionally across all areas of the business including support of non-delivery aspects of in-person training/events
• Leverages quantitative and qualitative analysis for decision making and recommendations
• Assesses and defines use of metrics to drive outcomes and inform decisions
• Manages the operational budget and oversees People Solutions vendor contracts, licenses, and purchase orders
• Leverages systems and technology and makes recommendations to increase efficiency and simplify processes
• Develops and maintains business continuity plans for HR operations
• Builds and maintains effective working relationships with all levels of management to inform program design and implementation
• Coaches, develops, and manages direct team members to build organizational capability and ensure service excellence
• Serves as subject matter expert across the HR function and may present to senior business leaders; serves as alternate or backup to VP when required
• Stays abreast of industry trends and recommends actions based on implications

Director, Human Resources – Operations

Compliance

• Reviewing and providing feedback on advertising submissions from advisors and corporate marketing to ensure compliance with state and federal regulations, as well as firm policy
• Serving as a resource and consultant to home office employees and advisors by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer creative alternatives
• Contributing to high-priority projects on an as-needed basis
• Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements

Compliance Advisor, Advertising Review

Operations

• Answer incoming phone calls (more than 80 percent of day dedicated to phone queue) to identify and resolve operational issues and inquiries
• Build trusted relationships with financial advisors and their staff by understanding needs and expectations
• Educate callers on best practices for a broad range of operational topics and ensure end goals are met
• Stay current on new resources, products, and procedures, as well as industry news and regulations
• Collaborate with various teams across the firm to research and resolve complicated issues
• Uphold Commonwealth’s level of indispensable service

Operations Support Associate

Consultant

• Provide educational and consultative financial planning strategies to more than 2,000 independent financial advisors
• Serve as a technical resource for wealth management strategies including estate, tax, and charitable planning; social security strategies; education savings; executive compensation; business succession; and retirement income planning
• Review and summarize plan and legal documents to educate financial advisors
• Identify potential issues on a variety of wealth management projects (wills, trusts, stock options, business succession, executive compensation plans)
• Review clients’ planning objectives to help identify opportunities to meet their needs
• Coach advisors to quarterback relationships with clients and other professionals, focusing on strategic big picture and walking them through planning issues
• Write communication and strategy articles, develop client presentation pieces, and participate in public speaking

Advanced Planning Consultant

Customer Support

• Serve as first point of contact for advisors and their staff via the phone queue, dedicating more than 80% of the day to answering incoming calls to identify and resolve operational issues and inquiries
• Support an extensive range of operational processes and procedures and provide indispensable service through effective communications
• Build trusting relationships with financial advisors and their staff by understanding their needs and expectations
• Educate callers on best practices for a broad range of operational topics and ensure their end goals are met
• Stay current with new resources, products, procedures, industry news, and regulations
• Collaborate with various teams across the firm to research and resolve complex issues
• Use an extensive in-house training program to prepare for role responsibilities
• Work Monday-Friday 8:30 a.m. - 5:00 p.m. ET with specified lunch breaks

Operations Support Specialist

Manager

• Consult with and educate advisors in the event of a major change, such as retirement or a buyout, to help them manage the transition of their business
• Serve as a relationship manager, primary point of contact, and escalation resource for advisors
• Coordinate and collaborate with team members and liaisons across the firm
• Manage questions on a wide variety of topics, such as operations, compensation, compliance, licensing, and technology
• Consult on business transition structures for operational feasibility
• Cultivate and maintain relationships with advisors and their staff as you guide them through the transition process
• Coordinate regular calls with advisors and/or internal staff to discuss all details of a business transition as needed
• Stay abreast of new resources, products, procedures, industry news, and regulations
• Actively participate in and lead a variety of departmental projects

Business Transitions Case Manager

Attorney

• Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating possible violations of federal securities laws, FINRA, or MSRB rules
• Perform legal research and writing, and document review
• Assist staff to prepare for on-the-record testimony
• Opportunity to observe on-the-record interviews and settlement negotiations
• Attend departmental meetings and participate in trainings to build skills and knowledge
• Term of Position: Spring: January - April
• Applications are accepted on an ongoing basis
• The information provided is not comprehensive of all duties, responsibilities and qualifications
• FINRA enforces a Code of Conduct with investment/account disclosure requirements and requires employees to execute confidentiality and invention assignment agreement